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Review of Case Materials
Reviews records, documents, testimony, data, and other relevant materials and consults with counsel regarding technical issues related to the matter.
Provide Expert Analysis
Applies specialized knowledge and experience to evaluate the technical or professional issues involved.
Form Expert Opinions
Develops independent, supportable opinions based on the available evidence and relevant standards.
Prepare Expert Reports
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A net worth analysis can organize a client's assets and liabilities at relevant points in time and show how the overall financial position changed. A Wealth Management Expert Witness may examine investment accounts, property, business interests, cash, retirement assets, loans, mortgages, and other obligations to provide context for liquidity, concentration, risk capacity, and financial goals. Net worth alone does not determine whether particular wealth-management advice was appropriate, but it can be an important part of evaluating the client's broader financial circumstances.
Asset Management focuses principally on managing financial and investment assets, including investment policy, allocation, performance, manager decisions, and portfolio oversight. Wealth Management takes a broader client-level perspective and may also consider liabilities, liquidity, retirement objectives, cash-flow needs, tax considerations, wealth transfer, and coordination with other advisers. A Wealth Management Expert Witness may therefore examine investment management as one component of the client's broader financial relationship.
An investment adviser expert witness may be relevant when a dispute concerns securities recommendations, ongoing portfolio advice, advisory practices, disclosures, conflicts, fees, portfolio monitoring, or management of an advisory account. A Wealth Management Expert Witness may address these issues when they form part of a broader wealth-management relationship. The applicable professional or regulatory framework depends on the adviser, services provided, registration status, account, jurisdiction, and relevant time period.
Risk tolerance concerns how much investment risk a client is willing to accept, while risk capacity concerns the client's financial ability to withstand losses or volatility. Income, liabilities, liquidity needs, time horizon, financial commitments, and concentration of wealth can affect risk capacity even when a client expresses willingness to accept substantial investment risk. A Wealth Management Expert Witness may consider both when evaluating the financial circumstances surrounding investment recommendations or portfolio decisions.
Prepares clear, well-supported expert reports outlining methodology, analysis, findings, and opinions.
Provide Deposition Testimony
Explains findings and opinions under oath and responds to questioning during deposition testimony.
Testify in Court
Presents specialized findings and opinions clearly to judges, juries, arbitrators, or other decision-makers.
Portfolio Management focuses specifically on the investment portfolio, including objectives, asset allocation, portfolio construction, security selection, diversification, monitoring, rebalancing, and performance. Wealth Management considers that portfolio within the client's broader financial circumstances, including assets outside the portfolio, liabilities, liquidity needs, financial goals, tax considerations, retirement planning, and wealth-transfer objectives. When the central issue concerns the client's overall financial strategy rather than the portfolio alone, a Wealth Management Expert Witness may provide the broader analysis.
